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Luke Tien-lu Tung

Luke T. Tung

ONEAMERICA SECURITIES
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 3162216
Luke Tien-lu Tung

Professional summary

Luke Tien-lu Tung, CFP®, ChFC®, CLU®, who also goes by Tienlu Tung, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Newport Beach, California.

Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Luke has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tienlu Tung

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Non-variable insurance sales (fixed life, fixed annuities)**Owner/Instructor: GAD Financial Education and Training Corporation - pre-licensing courses for state insurance license and financial education seminars for Chinese nationals**Broker: JJST Corporation - mortgage loan broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke Tien-lu Tung's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Luke Tien-lu Tung's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2011

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

October 6, 2016 - Present

ONEAMERICA SECURITIES, INC.

Office #1: 20151 Sw Birch Street Suite 250, Newport Beach, CA 92660
RIA
BD
CRD#: 4173
Newport Beach, CA
Current

October 6, 2016 - Present

ONEAMERICA SECURITIES, INC.

Office #1: 20151 Sw Birch Street Suite 250, Newport Beach, CA 92660
RIA
BD
CRD#: 4173
Newport Beach, CA
Past

December 10, 2015 - October 4, 2016

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
IRVINE, CA
Past

November 25, 2015 - October 4, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
IRVINE, CA
Past

February 2, 2009 - December 1, 2015

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
IRVINE, CA
Past

February 2, 2009 - December 1, 2015

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
IRVINE, CA
Past

March 3, 2007 - January 27, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
HACIENDA HEIGHTS, CA
Past

February 27, 2007 - January 27, 2009

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
HACIENDA HEIGHTS, CA
Past

August 23, 2006 - December 4, 2006

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
SAN GABRIEL, CA
Past

February 24, 2003 - August 22, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
BREA, CA
Past

December 20, 2000 - February 12, 2003

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

March 10, 2000 - January 19, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

March 1, 2000 - August 17, 2000

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/6/2016)
IAR
California
(10/6/2016)
RR
Indiana
(6/14/2022)
IAR
Indiana
(6/14/2022)
IAR
Oregon
(9/29/2021)
RR
Texas
(10/1/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/7/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/13/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/21/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/29/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/28/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/14/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ONEAMERICA SECURITIES FORM ADV PART 2A APPENDIX 1 (3/31/2025)
ONEAMERICA SECURITIES FORM ADV PART 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173Newport Beach, CA 92660

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